AXSM holder plans 29,450-share Rule 144 stock sale

A holder of common stock in AXSM has filed a Rule 144 notice to sell 29,450 shares through Goldman Sachs & Co. LLC, with an aggregate market value of $5,061,866.

Rhea-AI Filing Summary

A holder of common stock in AXSM has filed a Rule 144 notice to sell 29,450 shares through Goldman Sachs & Co. LLC, with an aggregate market value of $5,061,866. The shares are expected to be sold on or about January 6, 2026 on the NASD market.

The securities being sold were acquired on May 27, 2016 as compensation in the form of stock options from the issuer, and the planned sale is described as a cashless exercise with same-day sale. The form also lists prior sales over the past three months by Herriot Tabuteau, including individual transactions such as 89,824 shares of common stock sold on November 3, 2025 for gross proceeds of $11,902,021.33 and 41,920 shares sold on January 5, 2026 for $7,227,116.99.

FAQ

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What does AXSMs latest Form 144 filing disclose?

The filing discloses a planned sale of 29,450 shares of AXSM common stock under Rule 144. The shares are to be sold through Goldman Sachs & Co. LLC with an aggregate market value of $5,061,866, and the approximate sale date is January 6, 2026 on the NASD market.

How were the 29,450 AXSM shares being sold under Rule 144 originally acquired?

The 29,450 shares of AXSM common stock were acquired on May 27, 2016 as compensation in the form of stock options from the issuer. The sale is characterized as a compensation  cashless exercise with same-day sale.

Which broker is handling the planned AXSM Rule 144 stock sale?

The planned sale of 29,450 AXSM common shares under Rule 144 is being handled by Goldman Sachs & Co. LLC, located at 200 West Street, New York, NY 10282, with the securities to be sold on the NASD exchange.

Who has sold AXSM shares in the past three months according to this Form 144?

The filing lists Herriot Tabuteau, with an address at One World Trade Center, 29th Floor, New York, NY 10007, as the seller of AXSM common stock in multiple transactions over the past three months, each with specified dates, share amounts, and gross proceeds.

What prior AXSM stock sales are reported in the past three months section?

The past three months section reports several AXSM common stock sales by Herriot Tabuteau, including 89,824 shares sold on November 3, 2025 for $11,902,021.33 and 41,920 shares sold on January 5, 2026 for $7,227,116.99, along with other smaller trades.

What is the aggregate market value of the AXSM shares in the new Rule 144 sale?

The 29,450 shares of AXSM common stock covered by the new Rule 144 notice have an aggregate market value of $5,061,866, based on the figures provided in the filing.

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Accepted by SEC EDGAR 01/06/2026 - 04:58 PM EST Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001219927
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Axsome Therapeutics, Inc.
SEC File Number	001-37635
Address of Issuer	One World Trade Center 29th Floor New York NEW YORK 10007
Phone	1-212-332-3241
Name of Person for Whose Account the Securities are To Be Sold	Herriot Tabuteau
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Goldman Sachs & Co. LLC 200 West Street New York NY 10282	29450	5061866	50412640	01/06/2026	NASD

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	05/27/2016	Acquired as compensation -- Stock Options	The Issuer			29450	05/27/2016	Compensation -- Cashless exercise / same-day sale

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	01/05/2026	36783	6253407.94
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	10/06/2025	19220	2309661.63
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/03/2025	89824	11902021.33
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/02/2025	41920	6079988.77
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	01/05/2026	41920	7227116.99
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/03/2025	1881	234586.66
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/02/2025	7332	1041388.89
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	10/07/2025	13390	1590307.54
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	10/08/2025	12774	1518049.39
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/04/2025	35936	4829129.99
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/04/2025	14523	1921808.26
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/05/2025	21775	2928452.25
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/03/2025	20163	2962674.6
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/04/2025	10558	1564458.05

144: Remarks and Signature

Remarks	The sales of shares set forth herein are made in connection with a selling plan dated 6/13/2025, that is intended to comply with Rule 10b5-1(c).
Date of Notice	01/06/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	06/13/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Goldman Sachs & Co. LLC on behalf of Herriot Tabuteau
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)